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CRISPR Therapeutics AG — Director's Dealing 2016
Dec 24, 2016
30936_dirs_2016-12-23_b45fb7f2-87c5-4ae4-abf0-eaa4506d151c.zip
Director's Dealing
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SEC Form 3/A — Form 3/A
Issuer: CRISPR Therapeutics AG (CRSP)
CIK: 0001674416
Period of Report: 2016-10-18
Reporting Person: Woiwode Thomas (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 684014 | Indirect |
| Common Shares | 239648 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Preferred Shares | $ | Common Shares (437247) | Indirect | ||
| Series A-1 Preferred Shares | $ | Common Shares (2754) | Indirect | ||
| Series A-2 Preferred Shares | $ | Common Shares (3100477) | Indirect | ||
| Series A-2 Preferred Shares | $ | Common Shares (19524) | Indirect | ||
| Series A-3 Preferred Shares | $ | Common Shares (2210417) | Indirect | ||
| Series A-3 Preferred Shares | $ | Common Shares (66490) | Indirect | ||
| Series A-3 Preferred Shares | $ | Common Shares (168224) | Indirect | ||
| Series A-3 Preferred Shares | $ | Common Shares (73704) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (231077) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (1454) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (173167) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (5210) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (13180) | Indirect | ||
| Series B Preferred Shares | $ | Common Shares (5774) | Indirect |
Footnotes
F1: Each of the Reporting Person and Bradley Bolzon are managing members of Versant Venture Management, LLC. One-half of these shares were issued to the Reporting Person and one-half of these shares were issued to Mr. Bolzon, in each case, as compensation for service on the Issuer's board of directors. Pursuant to agreements with Versant Venture Management, LLC, the Reporting Person and Mr. Bolzon are deemed to hold these securities for the benefit of Versant Venture Management, LLC. Accordingly, Versant Venture Management, LLC may be deemed to be the indirect beneficial owner of these securities, and the Reporting Person may be deemed to indirectly beneficial own the securities through his interest in Versant Venture Management, LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
F2: These securities are convertible on a one-for-one basis at any time into the Issuer's Common Shares at the holder's election and automatically upon the closing of the Issuer's initial public offering into the number of Common Shares shown in column 3 above. These securities do not have an expiration date.
F3: These securities are held of record by Versant Venture Capital IV, L.P. ("VVC IV"). Versant Ventures IV, LLC ("VV IV") is the sole general partner of VVC IV and may be deemed to have voting and investment power over the securities held by VVC IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
F4: These securities are held of record by Versant Side Fund IV, L.P. ("VSF IV"). VV IV is the sole general partner of VSF IV and may be deemed to have voting and investment power over the securities held by VSF IV and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV IV and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
F5: These securities are held of record by Versant Venture Capital V, L.P. ("VVC V"). Versant Ventures V, LLC ("VV V") is the sole general partner of VVC V and may be deemed to have voting and investment power over the securities held by VVC V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
F6: These securities are held of record by Versant Affiliates Fund V, L.P. ("VAF V"). VV V is the sole general partner of VAF V and may be deemed to have voting and investment power over the securities held by VAF V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
F7: These securities are held of record by Versant Venture Capital V (Canada) LP ("VVC CAN"). Versant Ventures V (Canada) GP-GP, Inc. ("VV V CAN GP") is the sole general partner of Versant Ventures V (Canada), L.P. ("VV V CAN") and VV V CAN is the sole general partner of VVC CAN. VV V CAN GP and VV V CAN may be deemed to have voting and investment power over the securities held by VVC CAN and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a director of VV V CAN GP and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.
F8: These securities are held of record by Versant Ophthalmic Affiliates Fund I, L.P. ("VOA"). VV V is the sole general partner of VOA and may be deemed to have voting and investment power over the securities held by VOA and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a managing director of VV V and disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, if any.